Specialist: Compliance

2 weeks ago

Menlyn Park, South Africa Assupol Life Ltd. Full time

Duties & Responsibilities:
**Contribute to the efficient and effective functioning of the **Compliance Function**
- Assist manager to ensure that the compliance function are in compliance with law and industry and regulatory body requirements ito Market Conduct
- Promote prevention of legal and regulatory risk in the company (TCF)
- Maintain efficient and effective operations in Compliance
- Validate that policies and procedures with regards to Compliance Function are being adhered to. (TCF)

**Attend to regulatory and client complaints (TCF)**
- Assist with investigation of regulatory and clients complaints (Ombudsman cases)

**Responsible for Compliance Monitoring and Reporting**
- Monitor compliance risk, policies and procedures at Head Office and branches of Assupol Group
- Complete monitoring reports for Compliance Manager
- Provide overall compliance assistance, guidance and advice to Assupol Group of Companies
- Contribute to the development of compliance risk management plans
- Contribute to the completion of compliance reporting (internal and regulatory)

**Provide Training and Awareness on Compliance Matters**
- Create awareness in Assupol Group of Companies with law requirements (TCF)
- Inform employees about relevant compliance matters
- Develop, educate and enabling healthy and business orientated compliance culture

**Co-ordination of Market Conduct function**
- Liaise between managers, team and other teams
- Follow-up on responses and reports from managers
- Attend to normal telephonic enquiries
- Manage incoming correspondence from the regulator or any other industry body
- Department communication

**Performance of secretarial duties and administration**
- Prepare, manage and control the departmental budget
- Prepare and consolidate reports
- Prepare documentation e.g. reports, presentations and memos
- Draft letters
- Distribute documentation e.g. reports and memos
- Liaise with internal and external stakeholders and executives, directors, committee members, company secretary and others, where appropriate
- Assistance with the organisation of internal and external meetings prior to and during the event
- Coordinate arrangements for visitors, as necessary
- Preparation for meetings: Preparation of meeting packs (agenda, minutes and other required material)
- Take minutes at meetings and distribute minutes where necessary

**Assist with queries**

Assist with queries of the Compliance, Complaints and Broker Advisory and Intermediary Services

**General office administration**
- Maintain files and record keeping systems
- Maintain compliance records pertaining to the Market Conduct function and the Market Conduct Committee

**Formal Education**
- Legal Degree / equivalent or studying towards the qualification.
- Compliance Certificate (Advantage)
- Registered with CISA (Compliance Institute of South Africa)

**Experience**:
6-12 months in a compliance role

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